22-02448 | 09/06/2023 | Claimant(s): Amy Zachery Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): George Pinckney Shingler Hearing Site: Atlanta, GA
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22-02902 | 09/06/2023 | Claimant(s): Sofi Securities LLC Claimant Lawyers(s): Michele R. Underwood Respondent(s): Timothy Worley Respondent Lawyers(s): Timothy Worley Arbitrator(s): Leonard Arthur Nelson Hearing Site: Denver, CO
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23-00267 | 09/05/2023 | Claimant(s): Marcia Litrenta Claimant Lawyers(s): William B. Young Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): Raymond P. Buschmann Hearing Site: Chicago, IL
| | Expungement |
23-00121 | 09/01/2023 | Claimant(s): James Small Claimant Lawyers(s): Tosh Grebenik Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Royetta M. Jones, Walter Steven Schwartz, Nancy Lynn Boyd Hearing Site: Las Vegas, NV
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22-02757 | 09/01/2023 | Claimant(s): Kristi Trowbridge, Steve Trowbridge Claimant Lawyers(s): Zachary T. Hayes-Macaluso Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): Robert Abrams Arbitrator(s): Earle J. Schwarz Hearing Site: Birmingham, AL
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23-00447 | 09/01/2023 | Claimant(s): Margaret Burnes Claimant Lawyers(s): Margaret Burnes Respondent(s): Gerald Markwith, Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL
| | Expungement |
23-01066 | 09/01/2023 | Claimant(s): Vande Vrede Family Trust Claimant Lawyers(s): Kenneth Vande Vrede Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Michael I. White Arbitrator(s): Geoffrey A. Drucker Hearing Site: Richmond, VA
| | $300 |
23-01102 | 09/01/2023 | Claimant(s): Brian Donaldson, Frank Baldwin Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: San Diego, CA
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22-02848 | 09/01/2023 | Claimant(s): William Young Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Grove Point Investments, United Brokerage Services Respondent Lawyers(s): Matt Winterhalter, Michael Earl Arbitrator(s): Kurt Matthew Schwartz, Michael James Malone, Clinton Barkdoll Hearing Site: Washington, DC
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23-01264 | 08/31/2023 | Claimant(s): William Cerf Claimant Lawyers(s): Zachary M. Schmitz Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Michele S. Riley Hearing Site: New York, NY
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